Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GLAUNES, GUILLAUME JAMES JEROME
Chinese Name of Relevant Individual
HKMA Registration Number
AH7608
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Oct 2018 - 08 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Oct 2018 - 08 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
05 Oct 2018 - 08 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Apr 2018 - 20 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Apr 2018 - 20 Apr 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
GLAUNES, GUILLAUME JAMES JEROME
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH7608
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7608
UBS AG
Type 1: dealing in securities
05 Oct 2018 - 08 Jul 2021
No
AH7608
UBS AG
Type 4: advising on securities
05 Oct 2018 - 08 Jul 2021
No
AH7608
UBS AG
Type 7: providing automated trading services
05 Oct 2018 - 08 Jul 2021
No
AH7608
UBS AG
Type 1: dealing in securities
13 Apr 2018 - 20 Apr 2018
No
AH7608
UBS AG
Type 4: advising on securities
13 Apr 2018 - 20 Apr 2018
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.